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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 2: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 6: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q22-Q27):

NEW QUESTION # 22
To calculate the Adjustment Factor for a **Rights Issue** in the Equity F&O segment, the 'Benefits per share (E)' must first be determined. Which formula correctly represents the calculation of 'E'?

Answer: A

Explanation:
In the context of Rights Issue adjustment, Benefits per share (E) is calculated using the formula: E = (P - S) * A1 (A + B), where P is the underlying close price on the last cum date, S is the issue price of the rights, A is the Rights Entitlement, and B is the Number of Existing shares.

NEW QUESTION # 23
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Strictly through in-person meetings at the broker's branch office.
B. Via recorded voice messages on landline telephones only.
C. Exclusively through physical contract notes sent via post.
D. Only through the official website of the Stock Exchange.
E. Through SMS on to the mobile phone.

Answer: E

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 24
Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A. Shortage arising from trades executed in the Block Deal window.
B. Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
C. Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
D. Shortage arising from trades in the T+0 rolling settlement cycle.
E. Shortage in securities under the Trade for Trade Surveillance (TFTS) category.

Answer: A,B,D,E

Explanation:
The source specifies that for certain delivery shortages, CC directly does the close-out without conducting an auction. Examples include: Securities under trade for trade category, securities under corporate action, trades done on block deal window (Section 6.5.2). Additionally, regarding the T+0 rolling settlement cycle, it is stated that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out' (Section 3.4.3 / 5.7). Option C is incorrect because normal rolling settlement shortages are handled via auction.

NEW QUESTION # 25
In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A. Custodians automatically act as the counterparty for all institutional trades.
B. Custodians are Clearing Members (like PCMs) but do not possess trading rights.
C. Custodians are exempt from registration with SEBI if they are registered banks.
D. Custodians are primarily responsible for executing trades on the exchange floor.
E. Custodians are registered as Trading Members but outsource clearing to PCMs.

Answer: B

Explanation:
Custodians are defined as entities that settle trades on behalf of the clients of trading members. They are classified as Clearing Members (similar to Professional Clearing Members) but they do not have trading rights. They require specific registration with SEBI to provide custodial services.

NEW QUESTION # 26
Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

A. The ODR Portal allocates disputes to ODR Institutions based on a competitive bidding system for fees.
B. The Market Participant is strictly prohibited from shifting the incidence of fees and charges to the investor/client.
C. Initiation of the conciliation process after six months from the date of the dispute requires payment of a late fee of Rs 1 ,000 by the initiator.
D. For claims of Rs 1 or below, the Sole Arbitrator shall conduct a document-only arbitration process unless a hearing is specifically granted.
E. If a Market Participant initiates the dispute resolution process, the fees shall be borne by the MIIs and not the Market Participant.

Answer: B,C,D

Explanation:
Option A is correct: 'The Market Participant shall not shift the incidence of such fees to the investor/client at any time'. Option B is correct: 'Initiation of conciliation process after six months... will require payment of Rs 1000/- by the initiator'. Option C is correct: When the value of claim... is Rs 1 or below... Sole Arbitrator shall conduct a document-only arbitration process'. Option D is incorrect as allocation is via a 'round-robin system'. Option E is incorrect as fees are borne directly by the Market Participant if it is initiating the process.

NEW QUESTION # 27
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